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Beneficiary Designations: Avoiding Costly Issues [2019]
Date: 11/7/2019 Start Time: 12:00 PM (ET) Duration: 60 Min.


It seems like it should be so easy and straight forward: the participant completes a beneficiary designation, and should the need arise, you transfer the participant’s balance to the designated beneficiary. But this is an area fraught with risks: from intra-family disputes to slayer statutes and beyond, this session will address best practices to minimize problems for plan fiduciaries and service providers.

Topics include:
  • Application of state law
  • Spousal consent requirements
  • Determination of beneficiary
  • General vs. specific consent
  • Effect of joint and survivor rules
  • Spousal survivor rights
  • Doctrine of substantial compliance
  • Impact of slayer statutes
  • Retention of beneficiary designations and best practices
  • What to do when there are conflicting beneficiaries
  • Impact of QDROs
  • How to handle a beneficiary’s death before distribution

There are no prerequisites or other advanced preparation for this program. Attendees should have a general familiarity with the operation of retirement plans, and a minimum of two years of experience.

Level: Intermediate
Instructional Delivery Method
Group – Internet-Based

NASBA Field of Study: Taxes

Speaker: David Schultz, J.D.

Objectives: After attending this Web seminar, attendees should be able to:

  • Explain the impact of QJSA provisions on the participant’s beneficiary designation
  • Determine whether a plan should apply a receipt or acceptance standard for designations
  • Properly administer the distribution of assets after the death of a participant
  • Explain the best practices plan administrators should follow with regard to beneficiary designations
  • Identify those situation when plan rules take priority over participant beneficiary designations

How to participate

Please connect at least 10 minutes prior to the event to troubleshoot any issues. You will need a phone and internet access. The graphics presentation and illustrations will be viewed via the web connection, while the presenter's audio portion will be via the telephone. Important Note: The user registrant must be logged in via the internet for CE purposes. Select the "Fees" link on the right side menu of this page for more information.

System Requirements for Webex

WebEx supports both Windows and Mac operating systems. For Windows, we recommend using Internet Explorer 11 or Microsoft Edge browsers. For Mac, we recommend using Google Chrome or Mozilla Firefox browsers. For the easiest connection to the event without the need to download any additional software, try the new Webex web app by clicking on the "Join by browser" link below the login fields. Then connect by telephone as prompted.

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